Samuel D. Gethin-jones
Professional summary
Samuel David Gethin-jones, CFA is a registered financial professional currently at HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2019. Samuel has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel David Gethin-jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2019 - Present
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Office #1: 600 Lexington Avenue, New York, NY 10002State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2020)
(1/2/2020)
(1/2/2020)
(11/22/2022)
(4/18/2023)
(1/2/2020)
(1/2/2020)
(1/2/2020)
(10/25/2019)
(1/2/2020)
(1/2/2020)
Exams
Series 7TO
Date: 10/16/2019
General Securities Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
CRD#: 131452 / SEC#: , 8-66464
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK NATIONAL ASSOCIATION | PARENT | |
| AQUEDUCT CAPITAL HOLDINGS, LLC | SOLE MEMBER | |
| EDWARDS, FRANK HOOKER | CEO/CCO/MEMBER OF AQUEDUCT CAPITAL HOLDINGS, LLC | 2151464 |
| LESSING, STEPHEN MARION JR. | PARTNER | 5306328 |
| LONG, GEORGE PHILLIP MR. | CORPORATE SECRETARY | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER | 4578584 |
| VALENTINE, EDWARD WEST | BOARD MEMBER | 2399981 |
| WILCOX, BLAKE MILLER | FINOP | 5982383 |
Red Flags
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